AFSL Compliance Checklist (Free)
Free checklist for Australian Financial Services Licence holders
Use this checklist to:
- Review your AFSL compliance against Corporations Act and ASIC guidance
- Map key licensing, conduct, financial and governance obligations
- Plan periodic internal compliance reviews and Board reports
- Identify where you may need updated policies or external advice
Plain‑English explanations
Complex rules explained in simple language.
Practical examples
Real‑world scenarios, diagrams & checklists.
Ready to share
Ideal for briefing leaders & training your team.
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Description
About this Document
Use this checklist if you:
- Hold an AFSL and want a structured view of your obligations
- Need a tool to support quarterly or annual compliance reviews
- Are responsible for AFSL compliance, risk or governance in your business
- Are preparing for an ASIC review, independent audit or due diligence process
It is suited to:
- AFSL licensees (advice firms, platforms, funds, custodians and other providers)
- Responsible Managers, directors and compliance teams
- Risk officers and internal auditors in financial services businesses
What this checklist covers:
- General licensing obligations and fit‑and‑proper requirements
- Governance, breach reporting and conflicts management
- Financial and capital requirements and reporting
- Client conduct obligations, including anti‑hawking, best interests and disclosure
- Complaints handling, AFCA membership and dispute resolution
- Whistleblower protections, cybersecurity and business continuity
- Insurance, adviser registration and oversight of representatives
- Service provider due diligence and ongoing oversight
You receive a free, structured checklist you can adapt to your AFSL profile and use as the backbone of your periodic compliance review process.
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